Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Tier One Capital Wealth Management Limited
FRN 588633
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 7. Giving personal recommendations on long-term care insurance contracts
- 11. Pension transfer specialist
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 5 Aug 2019)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Jun 2023)
- SMF16 Compliance Oversight (9 Dec 2019 to 8 Jun 2023)
- CF10 Compliance Oversight (5 Aug 2019 to 8 Dec 2019)
- CF11 Money Laundering Reporting (5 Aug 2019 to 8 Dec 2019)
- CF30 Customer (2 Jan 2013 to 8 Dec 2019)
- CF1 Director (2 Jan 2013 to 8 Dec 2019)
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- CF1 Director (AR) (6 Aug 2025 to 8 Dec 2025)
- CF30 Customer (6 Aug 2025 to 8 Dec 2025)
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- Employed By (6 Aug 2025 to 8 Dec 2025)
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- [FCA CF] Client dealing (9 Dec 2019 to 23 Oct 2023)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Oct 2023)
- CF30 Customer (8 Oct 2019 to 8 Dec 2019)
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- CF1 Director (AR) (6 Apr 2009 to 21 Dec 2012)
- CF30 Customer (1 Nov 2007 to 21 Dec 2012)
- CF21 Investment Adviser (20 Jul 2007 to 31 Oct 2007)
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- Employed By (20 Jul 2007 to 21 Dec 2012)
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- (14)Employed By (8 May 2007 to 13 Jul 2007)
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- CF21 Investment Adviser (1 Dec 2001 to 13 Jul 2007)
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- CF21 Investment Adviser (1 Dec 2001 to 13 Jul 2007)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function added: (14)Employed By at I2I Financial Planning Group Ltd